0001209191-14-076766.txt : 20141218 0001209191-14-076766.hdr.sgml : 20141218 20141218175909 ACCESSION NUMBER: 0001209191-14-076766 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141216 FILED AS OF DATE: 20141218 DATE AS OF CHANGE: 20141218 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NOVAVAX INC CENTRAL INDEX KEY: 0001000694 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 222816046 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 20 FIRSTFIELD ROAD CITY: GAITHERSBURG STATE: MD ZIP: 20878 BUSINESS PHONE: 240-268-2000 MAIL ADDRESS: STREET 1: 20 FIRSTFIELD ROAD CITY: GAITHERSBURG STATE: MD ZIP: 20878 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EVANS GARY C CENTRAL INDEX KEY: 0001191410 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26770 FILM NUMBER: 141297196 MAIL ADDRESS: STREET 1: 1048 TEXAN TRAIL CITY: GRAPEVINE STATE: TX ZIP: 76051 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-12-16 0 0001000694 NOVAVAX INC NVAX 0001191410 EVANS GARY C C/O NOVAVAX, INC. 20 FIRSTFIELD ROAD GAITHERSBURG MD 20878 1 0 0 0 Common Stock 2014-12-16 4 M 0 15000 1.48 A 125680 D Common Stock 2014-12-16 4 M 0 235000 1.03 A 360680 D Common Stock 2014-12-16 4 S 0 46701 5.7154 D 313979 D Common Stock 8000 I See footnote Stock Option (Right to buy) 1.48 2014-12-16 4 M 0 15000 0.00 D 2015-05-04 Common Stock 15000 0 D Stock Option (Right to buy) 1.03 2014-12-16 4 M 0 35000 0.00 D 2015-07-20 Common Stock 35000 0 D Stock Option (Right to buy) 1.03 2014-12-16 4 M 0 200000 0.00 D 2015-07-20 Common Stock 20000 0 D The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.70 to $5.745, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. Includes 4,000 shares owned of record by Gary Evans Custodian for Dustin Evans UTMA/TX and 4,000 shares owned of record by Gary Evans Custodian for Casey Evans UTMA/TX. The 15,000 shares exercised on 12/16/2014 pursuant to this stock option vested on 11/04/2006. The 35,000 shares exercised on 12/16/2014 pursuant to this stock option vested on 01/20/2006. Of the 200,000 shares exercised on 12/16/2014 pursuant to this stock option, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $150,000,000, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $250,000,000, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $350,000,000, and 50,000 shares vested when Novavax, Inc. successfully accomplished a specific strategic initiative. /s/ John A. Herrmann III, Attorney-in-Fact 2014-12-18